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REMOTE VIRTUAL AUDITING
a means of due diligence to verify what was seen on screen was accurate.
Working with TAPA EMEA, I have prepared a Remote Auditing training course which leads the trainee to think through the whole process. This will help those completing the course to:
• Conduct a risk assessment to see if a remote audit is possible
• Validate the decision before beginning the audit
• Decide which techniques should be used Next step
Consider ICT (information and communication technologies). Is there a stable connection allowing full access? Are all areas of the site accessible – i.e. wi-fi/cell signal across the locations, explosive atmospheres where phones or tablets can’t be used etc.
Once you have done the risk assessment and decide to proceed, then the detailed planning process begins. You must utilise the audit time in the most productive and effective way. This can mean producing an agenda that is totally different from that of an onsite audit. If you took a typical supplier quality audit, it is often 2 days onsite plus a half day reporting. Remote auditing, because of its additional needs and approach, lends itself to a different approach. As an example, some of the audit can be completed offline before the initial client meeting. If your auditee is prepared to share data, you could easily complete some areas of the audit through document review. When you audit a site, you also need to be aware of how the site layout can impact auditability – i.e. are there clean rooms that need gowning time, noisy areas that are not easy to audit remotely, or areas where synchronous video isn’t possible. How does material flow through the process?
So, this is where a “thinking outside of the box” approach is better. Trained, well-prepared remote auditors will be looking to maximise client interaction and minimise down time. One thing to consider here is can you get two guides – i.e. work with one, whilst the other is preparing to enter another area, so the auditor is always auditing. Novel agendas could also see reporting time being allocated in smaller blocks instead of a half day at the end – i.e. using down time between auditing processes to complete each part of the final report.
Also, whilst auditing, it’s important the auditor keeps full control of the audit, ensuring they see what they need and are not being led by the auditee. Having a copy of the site plan and
plotting the areas you have seen/visited is vital, so that at the end of the audit you can be sure you have seen everything you needed to. If you need to use asynchronous video, it’s vital the auditor tells the camera person what they want them to show and what data needs to be collected as evidence. It’s no use just saying ‘please walk me through the warehouse!’
Personal perspective
Having completed more than 130 days of remote auditing in the last 18 months covering quality, environment H&S, security and GMP/GDP, and also working for clients who have been the subject of audits, I’ve seen the good, the bad and the ugly!! From third party auditors just requesting a bundle of documents at the opening meeting at 09:00, and then a TEAMs call at 16:30 to say everything was fine, to being asked if I could mail client sensitive documents as the auditor just couldn’t read them on the screen share. Seeing failing internet connections, so the planned 8-hour agenda time produced less than 3 hours of effective auditing.
I cannot stress enough the need for auditors to be trained in remote auditing, and for effective planning to be done. Auditor/ auditee cooperation and flexibility must also be embedded into the process for this to be a success. Typically, lead auditor training courses have not prepared auditors for remote auditing, so top-up training will definitely be needed. Remote auditing lends itself to covering some areas – i.e. management review, internal auditing, purchasing, HR, etc, where much of the audit is done by looking at documents. In the future, this may be done offsite, and the only things where the auditor needs to be present onsite are items such as work environment, security, some production processes, and confidential areas including personal data, proprietary items, and matters covered under GDPR. So, future audits may require only a short onsite visit to verify those activities that cannot be done remotely, or as
• Plan the agenda for maximum audit time, collection of audit evidence and then reporting
The course, delivered over two four-hour sessions one week apart, will enhance any auditor’s skills. The second session also includes a Live Audit situation where participants are able to use the tools and knowledge they have gained and then discuss how to maximise the learning experience. Feedback from the first TAPA EMEA course was excellent.
So, in conclusion, remote audits are here to stay. If you want to be effective at this, you need to understand the process and its limitations, to be trained in the remote audit techniques and then use the learning in your company, so it becomes second nature.
About the Author:
Jeff Dowson first became involved with management systems and auditing in 1979. Since then, he has audited organisations globally against a multitude
of Standards. Since 2001, Jeff has been involved with TAPA EMEA, including providing input on the auditing methodologies and the TAPA Standards. Jeff has worked with many Blue Chip global organisations to help them develop bespoke Standards. After 27 years of working with the world’s largest testing, inspection and certification company, SGS, Jeff now runs his own consultancy, JD Business Enhancement, helping organisations reduce risk and improve performance and profits. Jeff continues to audit, both onsite and remotely, and provide training courses, and is supporting the rollout of TAPA EMEA’s Remote Validation Audit programme.
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